Skip to content

Compliance Alliance Blog

Dive into our collection of articles covering everything from insider trading and whistleblowing to general compliance.

Post Picture
Post Picture

5 Trade Surveillance Challenges (And How To Prepare)

With such a large volume of transactions flowing through the European markets, trade surveillance is essential. For the sake of fairness, stakeholder...
Read More
Post Picture

MiFID II Dealing On Own Account: A Summary Of The Key Points

When MiFID II entered into force across the European Union on 3 January 2018, it showed intent from lawmakers in the union to instil trust in the...
Read More
Post Picture

7 Best Practices to Manage and Mitigate Pre-Trade Risk

Pre-trade risk can result from human error when inputting incorrect figures in buy or sell orders. Whether it is related to the volume, value or size...
Read More
Post Picture

5 Features Your Pre-trade Clearance System Should Have

Having a robust pre-trade clearance system is essential for investment firms with regard to compliance with the Market Abuse Regulation (MAR) and...
Read More

Navigate compliance with ease

Subscribe to the Compliance Alliance newsletter to stay up to date

Subscribe
newsletter-subscription-image

Sign up for our newsletter

Stay up to date with the latest news and products

You have successfully subscribed!

This is your official confirmation. Thank you for joining ComplyLog Newsletter. While you wait for the next issue of ComplyLog, check out the latest articles and references.
Post Picture

[Step-By-Step] How To Create A Solid Employee Trading Policy

An employee trading policy, also referred to as a Code of Ethics or Code of Conduct, is designed to prevent financial workers from using confidential...
Read More
Post Picture

How To Manage Employee Personal Trading Compliance

To strengthen the control over personal transactions and prevent insider trading, the European Securities and Market Authority (ESMA) has mandated...
Read More
Post Picture

The 6 Key Steps To Faster And Simpler Employee Trade Monitoring

After understandable volatility in the world’s capital markets last March, the recovery took hold throughout the second half of 2020 and into 2021,...
Read More
Post Picture

How To Level Up Your Employee Trading Pre-Clearance Process

There are many occasions when investment companies and their employees will be in possession of inside information. The Market Abuse Regulation (MAR)...
Read More